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James Alexander Mitchell

Mighty Oak Management LLC

Easton, CT

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Current Employers
Mighty Oak Management Llc

Easton, CT • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-10-14
CT RA APPROVED 2015-11-04
  • TX RA
    APPROVED_RES
    Since 2016-10-14
  • CT RA
    APPROVED
    Since 2015-11-04

Branch Locations

Easton, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mighty Oak Management Easton CT 09/2015 Present
  • 09/2015 → Present
    Mighty Oak Management
    Easton, CT
Previous Registrations
  • 2005-08-12 → 2015-08-24
    Invest Financial Corporation
    Easton, CT
    Stamford, CT
  • 2005-01-11 → 2005-12-13
    Blue Hill Capital Partners Llc
    Norwalk, CT
  • 2002-01-14 → 2004-07-06
    Ubs Financial Services Inc.
    Stamford, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-12-11
S63 Uniform Securities Agent State Law Examination 1986-01-11
  • S66 Uniform Combined State Law Examination
    2001-12-11
  • S63 Uniform Securities Agent State Law Examination
    1986-01-11

View on SEC IAPD

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